DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
R••••••• G•••• • C••
Latest filing Mar 5, 2026
First filing on the tape Mar 12, 2012 · 26 filings
SEC status approved since Mar 13, 1984
RAUM
$938M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
77%
$727M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$188M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$938M as of Mar 5, 2026
Mar 12, 2012$460M then
HNW client RAUM$642M as of Mar 5, 2026
Feb 28, 2018$402M then
State-registered IARs (5.B.3)5 as of Mar 5, 2026
Mar 6, 20134 then
Employees (5.A)7 as of Mar 5, 2026
Mar 6, 20137 then
Private funds: no history
RAUM +11% over the last fiscal year+9.5% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $188MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $810,364derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$642M68%
- Other investment advisers$173M18%
- Individuals$84.6M9.0%
- Charitable organizations$24.9M2.7%
- Pension and profit-sharing plans$9.5M1.0%
- Corporations and businesses$4.0M0.4%
- Individual clients
- 197reported
- HNW clients
- 186reported
- Pension plan clients
- 4reported
- Charitable clients
- 6reported
- Accounts
- 1,158reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.77 fund_share=0.18 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• P•••• C••••• | Deerfield, Il | Mar 26, 1997 | 37 y | 0 |
| J•• L•••• C•••••• | Deerfield, Il | Dec 20, 1997 | 32 y | 0 |
| B•••• J••••••• S••••• | Deerfield, Il | Aug 21, 2006 | 24 y | 1 |
| C••••••••• J•••• C•••••Certified Financial Planner | Deerfield, Il | Oct 17, 2007 | 22 y | 1 |
| S•••••• Q•••••• B••••••• | Deerfield, Il | Oct 17, 2018 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• J••• L•••• · Presidentcontrolsince 10/1993 · owns 25% to 50%
- C•••••• C••••••••• J•••• · Assistant Vpcontrolsince 11/2013 · owns less than 5%
- C•••••• C••••••• P•••• · Treasurercontrolsince 12/1989 · owns 50% to 75%
- S•••••• B••••• J••••••• · Chief Compliance Officercontrolsince 05/2007 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Deerfield, Il · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,116 to 1,158Apr 2, 2025 to Mar 5, 2026
- HNW clients · 176 to 186Apr 2, 2025 to Mar 5, 2026
- Individual clients · 200 to 197Apr 2, 2025 to Mar 5, 2026
- Financial planning clients · 1-10 to 11-25Apr 2, 2025 to Mar 5, 2026
- Discretionary RAUM · $614M to $686MApr 2, 2025 to Mar 5, 2026
- HNW RAUM · $568M to $642MApr 2, 2025 to Mar 5, 2026
- Individual RAUM · $83.3M to $84.6MApr 2, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $233M to $252MApr 2, 2025 to Mar 5, 2026
- Pension RAUM · $8.6M to $9.5MApr 2, 2025 to Mar 5, 2026
- RAUM · $848M to $938MApr 2, 2025 to Mar 5, 2026
- Financial planning clients · 1-10 to 1-10Feb 12, 2025 to Apr 2, 2025
- Accounts · 1,117 to 1,116Mar 25, 2024 to Feb 12, 2025
- HNW clients · 179 to 176Mar 25, 2024 to Feb 12, 2025
- Individual clients · 191 to 200Mar 25, 2024 to Feb 12, 2025
- Pension plan clients · 3 to 4Mar 25, 2024 to Feb 12, 2025
- Discretionary RAUM · $574M to $614MMar 25, 2024 to Feb 12, 2025
- HNW RAUM · $531M to $568MMar 25, 2024 to Feb 12, 2025
- Individual RAUM · $78.7M to $83.3MMar 25, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $216M to $233MMar 25, 2024 to Feb 12, 2025
- Pension RAUM · $7.4M to $8.6MMar 25, 2024 to Feb 12, 2025
- RAUM · $790M to $848MMar 25, 2024 to Feb 12, 2025
- Accounts · 1,093 to 1,117Feb 22, 2023 to Mar 25, 2024
- Charity clients · 5 to 6Feb 22, 2023 to Mar 25, 2024
- Corporate clients · 2 to 3Feb 22, 2023 to Mar 25, 2024
- HNW clients · 169 to 179Feb 22, 2023 to Mar 25, 2024
- Individual clients · 189 to 191Feb 22, 2023 to Mar 25, 2024
- Discretionary RAUM · $516M to $574MFeb 22, 2023 to Mar 25, 2024
- HNW RAUM · $478M to $531MFeb 22, 2023 to Mar 25, 2024
- Individual RAUM · $72.6M to $78.7MFeb 22, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $198M to $216MFeb 22, 2023 to Mar 25, 2024
- Pension RAUM · $6.0M to $7.4MFeb 22, 2023 to Mar 25, 2024
- RAUM · $714M to $790MFeb 22, 2023 to Mar 25, 2024
- Accounts · 1,077 to 1,093Feb 11, 2022 to Feb 22, 2023
- Charity clients · 6 to 5Feb 11, 2022 to Feb 22, 2023
- Corporate clients · 3 to 2Feb 11, 2022 to Feb 22, 2023
- HNW clients · 173 to 169Feb 11, 2022 to Feb 22, 2023
- Individual clients · 178 to 189Feb 11, 2022 to Feb 22, 2023
- Discretionary RAUM · $616M to $516MFeb 11, 2022 to Feb 22, 2023
- HNW RAUM · $564M to $478MFeb 11, 2022 to Feb 22, 2023
- Individual RAUM · $78.4M to $72.6MFeb 11, 2022 to Feb 22, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 224-268-1043reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 224-330-6980reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-627-8889reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- robertsglore.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 224-330-6980reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- robertsglore.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- robertsglore.com/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $188Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026